News Centre

NZX Issue Of Ordinary Shares

Date 27/09/2022

The attached capital change notice is given under NZX Listing Rule 3.13.1 and relates to the issue of ordinary shares in NZX Limited (NZX) under the NZX Dividend Reinvestment Plan.

CFTC Orders Wisconsin Resident And Company To Pay Over $190,000 For Failing To Register As An Introducing Broker And Other Violations

Date 26/09/2022

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Jason Gospodarek (Gospodarek) and Quantum Financial Network, LLC (Quantum Financial), both located in Wisconsin, for their failure to register as an introducing broker, and against Gospodarek for his failure to register as an associated person of a commodity trading advisor, as required by the Commodity Exchange Act (CEA). Gospodarek is Quantum Financial’s principal and only employee.

ISDA: Treatment Of Instruments With Embedded Derivatives

Date 26/09/2022

On September 26, 2022, ISDA and the Association for Financial Markets in Europe published a whitepaper on the prudential boundary between the banking and trading books in Europe and how that relates to instruments with embedded derivatives.

CFTC Orders Texas Commodity Trading Advisor To Pay $200,000 For Failing To Register As A Swap Execution Facility

Date 26/09/2022

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Asset Risk Management, LLC (ARM), a registered Commodity Trading Advisor headquartered in Houston, Texas, for failing to register as a swap execution facility (SEF). The order requires ARM to pay a $200,000 civil monetary penalty and to cease and desist from any further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged.

US Financial Stability Oversight Council Meeting

Date 26/09/2022

On Monday, October 3, U.S. Secretary of the Treasury Janet L. Yellen will preside over a meeting of the Financial Stability Oversight Council (Council) at the Treasury Department.  The meeting will consist of an executive session and a public session.  The preliminary agenda for the executive session includes an update from staff of the Federal Reserve and the Commodity Futures Trading Commission on financial stability and energy market developments.* The preliminary agenda for the public session includes a vote on the Council’s report in response to the Executive Order on Ensuring Responsible Development of Digital Assets; votes on the establishment and initial membership of the Council’s Climate-related Financial Risk Advisory Committee; and an update on the upcoming Treasury report on cloud services adoption in the financial sector. 

CFTC Commissioner Pham To Deliver A Keynote Address At CordaCon 2022

Date 26/09/2022

New York Attorney General James Sues Cryptocurrency Platform For Operating Illegally And Defrauding Investors - Nexo Failed To Register As Required By New York Law And Lied To Investors About Their Registration

Date 26/09/2022

New York Attorney General Letitia James today joined seven state securities regulators in suing cryptocurrency companies Nexo Inc. and Nexo Capital Inc. (Nexo), for failing to register with the state as securities and commodities brokers or dealers and for lying to investors about their registration status. Despite warnings from the Office of the Attorney General (OAG) to register as a securities and commodities broker or dealer, Nexo failed to register and misrepresented to investors that they are a licensed and registered platform. In New York, entities engaging in the offer, purchase, or sale of securities or commodities, including cryptocurrency platforms, must register with OAG if they are operating within the state or offering their products to New Yorkers. Through her lawsuit, Attorney General James seeks disgorgement of any revenues derived from Nexo’s unlawful conduct and restitution for investors.

Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date September 15, 2022

Date 26/09/2022

At the end of the settlement date of September 15, 2022, short interest in 3,449 Nasdaq Global Market^SM securities totaled 10,247,432,237 shares compared with 10,037,516,423 shares in 3,449 Global Market issues reported for the prior settlement date of August 31, 2022. The mid-September short interest represents 3.03 days compared with 3.13 days for the prior reporting period.

NYSE Group Consolidated Short Interest Report

Date 26/09/2022

NYSE today reported short interest as of the close of business on the settlement date of September 15, 2022.

Talos Expands EU And US Teams With Key Hires In Sales & Business Development - Leading Institutional Digital Asset Technology Provider Continues Expansion, Adds Three New Team Members

Date 26/09/2022

Talos, the premier provider of institutional digital asset trading technology, today announced three key hires – Frank van Zegveld as Head of Sales EMEA, Matt Houston as Client Success Director and Hillary Conley as Business Development Director. These appointments continue the global expansion of the Talos team on the heels of the company’s $105 million Series B funding round earlier this year, valuing Talos at $1.25 billion.